OATS Basics PresentationFor information, please refer to our Order Audit Trail System (OATS)
OATS Phase III Road Show Presentation - OATS Basics
(PDF 134 KB).NASD Notice to Members06-15 SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small
Web EFT Frequently Asked Questions
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice of FINRA District Committee Election and Ballots
FINRA to Require Electronic Submission of Annual Audit Reports
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs